A company is looking for a Senior Compliance Officer in AML Compliance. ...
JCW is partnering with a leading investment management firm that's looking to build out their Marketing Compliance team. An ideal candidate will have prior experience reviewing marketing materials for FINRA/SEC compliance and will be Series 7 and 24 certified. Have experience reviewing marketing mat...
Key Responsibilities:Maintain and create compliance and privacy policies, procedures, and protocolsConduct risk assessments and audits to identify compliance and privacy issuesCollaborate with internal departments to ensure adherence to guidelinesRequired Qualifications:Bachelor's degree in Healthca...
Our client, a Commercial Bank based in Houston, TX is looking for a new Compliance leader to join the business. Commercial Compliance experience is needed, with an understanding of BSA/AML regulations along with Regulatory knowledge in the space. Provide leadership and supervise the Compliance team ...
A company is looking for a Compliance Officer. ...
Seven (7) years compliance management experience; Prior compliance experience at a large bank subject to direct CFPB oversight and supervision preferred; Expert-level familiarity with federal and state banking regulations preferred; Certified Regulatory Compliance Manager (CRCM) preferred, or simila...
The overall responsibility of this Compliance Officer position is to assist Invesco, Ltd. Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied in the OMS by the Compliance department. Maintain Evergreen Compliance -...
Lead the SIMG compliance program, including review and administration of compliance policies and procedures, and update new policies and procedures as needed to ensure adherence to state, federal and other laws that pertain to the firm's business and industry best practice. Conduct periodic risk ass...
As a Compliance Officer, you will be primarily responsible for ensuring that the company's business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards. Address day to day compliance issues related to trading strategies and the app...
Lending Compliance & Risk Officer,. Executes Compliance and Risk Program requirements such as regulatory change management, risk assessments, issue management, third party risk management, training, metrics and reporting. Provides subject matter expertise to business partners on how to mitigate ...
The overall responsibility of this Compliance Officer position is to assist Invesco, Ltd. Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied in the OMS by the Compliance department. Maintain Evergreen Compliance -...
As a key member of the Executive Leadership team, the Chief Compliance Officer reports to the CEO and assumes a strategic role in the overall facilitation of the organization's Compliance Program. The CCO has responsibility for strategic planning and operational leadership pertaining to compliance a...
Lead the SIMG compliance program, including review and administration of compliance policies and procedures, and update new policies and procedures as needed to ensure adherence to state, federal and other laws that pertain to the firm’s business and industry best practice. Conduct periodic risk ass...
The Compliance Officer II, Advisory is responsible for providing guidance related to regulatory compliance requirements in an advisory capacity and serving as a subject matter resource to all lines of business. Coordinates and offers support to the bank training department through recommendations co...
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. SVP, Compliance and Risk Officer. Hub Retirement and Private Wealth (“RPW”), will be a highly visible, senior lea...
As a Compliance Officer, you will be primarily responsible for ensuring that the company’s business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards. Address day to day compliance issues related to trading strategies and the app...
The CECO is responsible for developing, leading, and monitoring the company’s global Ethics & Compliance (E&C) Program, seeking to continuously make the program more effective to prevent and address compliance matters across all Company assets and employees including McDermott’s offices, yards, proj...
Bank Compliance Officer role in the Houston, TX area. Bank Compliance Officer responsibilities include:. This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regulations across all business lines to identify regulatory compliance weaknes...
As a member of the Group Compliance Department, the Regional Compliance Officer to assist the Group Compliance Officer (based in France) in ensuring that the Vallourec Companies within North America region (mainly located in the US, Canada & Mexico) operate in compliance with the applicable regulati...
The responsibilities of this role will mainly focus on the management and oversight of multiple commodities trading compliance functions, including developing policies and procedures, performing risk assessments and internal controls, and providing real-time advice and interpretation of applicable l...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
Bank Compliance Officer – To $110K – Houston, TX – Job # 3334. Bank Compliance Officer role in the greater Houston, TX market. Bank Compliance Officer responsibilities include:. This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regula...
The Senior Compliance Analyst - Compliance Program is responsible for ensuring the Bank establishes all required compliance responsibilities in a manner that is incorporated in internal policies and procedures of applicable business processes. Coordinate and offers support to the bank's training dep...